Daniel P. Ray

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CRD#: 2533515

Professional summary

Daniel Peter Ray was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Daniel is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Daniel had worked at 14 firms, which includes ITRADEDIRECT.COM CORP, BROOKVILLE CAPITAL PARTNERS, LH ROSS & COMPANY INC., GUNNALLEN FINANCIAL INC, STONEX SECURITIES INC., AMERICAN INVESTMENT SERVICES INC., GLOBAL CAPITAL SECURITIES CORPORATION, MILLENNIUM SECURITIES CORP., FAB SECURITIES OF AMERICA INC., INTERNATIONAL BOND AND SHARE INC., WILLIAM SCOTT & CO. L.L.C., MEYERS POLLOCK ROBBINS INC., JOSEPH DILLON & COMPANY INC., STERLING FOSTER & COMPANY INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 9, 2005 - July 21, 2005

ITRADEDIRECT.COM CORP

CRD#: 18281

BOCA RATON, FL

Past

April 4, 2005 - June 23, 2005

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

MELVILLE, NY

Past

August 24, 2004 - March 17, 2005

LH ROSS & COMPANY, INC.

CRD#: 37920

BOCA RATON, FL

Past

March 11, 2003 - June 15, 2004

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

May 15, 2002 - May 23, 2002

STONEX SECURITIES INC.

CRD#: 18456

BIRMINGHAM, AL

Past

September 4, 2001 - May 15, 2002

AMERICAN INVESTMENT SERVICES, INC.

CRD#: 21111

OKLAHOMA CITY, OK

Past

May 22, 2001 - August 28, 2001

GLOBAL CAPITAL SECURITIES CORPORATION

CRD#: 16184

ENGLEWOOD, CO

Past

May 26, 2000 - July 6, 2000

MILLENNIUM SECURITIES CORP.

CRD#: 31695

NEW YORK, NY

Past

October 2, 1998 - October 23, 1998

FAB SECURITIES OF AMERICA, INC.

CRD#: 28212

NEW YORK, NY

Past

May 13, 1998 - December 18, 1998

INTERNATIONAL BOND AND SHARE, INC.

CRD#: 43196

ST. PETERSBURG, FL

Past

April 2, 1998 - May 13, 1998

WILLIAM SCOTT & CO. L.L.C.

CRD#: 14979

UNION, NJ

Past

May 12, 1997 - April 6, 1998

MEYERS POLLOCK ROBBINS, INC.

CRD#: 13436

NEW YORK, NY

Past

March 20, 1997 - May 23, 1997

JOSEPH DILLON & COMPANY INC.

CRD#: 35220

GREAT NECK, NY

Past

August 9, 1995 - February 21, 1997

STERLING FOSTER & COMPANY, INC.

CRD#: 36052

UNIONDALE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 8/15/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/8/1995

General Securities Representative Examination

Current Firm

ITRADEDIRECT.COM CORP

CRD#: 18281 / SEC#: , 8-36398

Terminated by SEC on 07/27/2010

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Contact information

Main Address

Mailing Address

Phone number

Established

North Carolina since 07/07/1986

Firm type

Corporation

Fiscal year end

June

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
ITRADENOW.COMCORP.	OWNER
ARLT, ERIC DAVID	PRESIDENT / CEO / CCO	2306499
NOVACK, RICHARD CLARENCE	FINOP	1041888

Disclosures

Regulatory Event	13
Arbitration	3

Red Flags

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Firm Stability Insights

Daniel P. Ray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROOKVILLE CAPITAL PARTNERS

LH ROSS & COMPANY, INC.

GUNNALLEN FINANCIAL, INC

STONEX SECURITIES INC.

AMERICAN INVESTMENT SERVICES, INC.

GLOBAL CAPITAL SECURITIES CORPORATION

MILLENNIUM SECURITIES CORP.

FAB SECURITIES OF AMERICA, INC.

INTERNATIONAL BOND AND SHARE, INC.

WILLIAM SCOTT & CO. L.L.C.

MEYERS POLLOCK ROBBINS, INC.

JOSEPH DILLON & COMPANY INC.

STERLING FOSTER & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/15/1995

Series 7

Date: 8/8/1995

Current Firm

ITRADEDIRECT.COM CORP

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ITRADEDIRECT.COM CORP

TRUST BUT VERIFY

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